MILWAUKEE – Quest CE, premier provider of compliance training and tracking technology solutions, today announced the addition of a new Firm Element course to its e-learning catalog.
Regulation M is designed to prevent manipulation of market making activities by underwriters, issuers and other participants in securities offerings. The regulation is intended to strengthen the integrity and fairness of the markets by regulating the activities that could result in artificially raised prices or create an illusion of active trading in the market where little to none may exist.
The course, “Regulation M – Curbing Market Manipulation,” serves as a review of the key components of Regulation M. The course covers the six rules that comprise Regulation M, the history and necessity of the regulation, and FINRA guidance designed to help ensure compliance with the regulation. This course is geared towards intermediate learners who have a good understanding of the market making process as it relates to the capital markets.
Course Topics Include:
- Regulation Overview
- Rule 100
- Rule 101: Restrictions on Distribution Participants
- Rule 102: Restrictions on Issuers and Selling Security Holders
- Rule 103: NASDAQ Market Making
- Rule 104: Stabilizing Bids
- Rule 105: Short Selling Before a Public Offering
- Regulation M and FINRA
- FINRA Rule 5190
- FINRA Rule 6470
- FINRA Rule 6275
For questions regarding this or other Firm Element courses, please contact a Quest CE Sales Executive at 877-593-3366 or e-mail sales@questce.com. To view Quest CE’s Firm Element course catalog, click here.
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About Quest CE
For over thirty years, Quest CE has been the premier provider of compliance training and tracking solutions to the financial services industry. In addition to offering on-demand insurance and designation continuing education, Quest CE provides a complete spectrum of proprietary technology solutions for managing compliance risk exposures.
Serving more than 1,000 leading insurance carriers, broker-dealers, banks, and other financial institutions, Quest CE is committed to providing advanced custom solutions at cost effective rates, while providing a level of service that greatly surpasses that of our competitors. Quest CE is the single source solution for organizations’ training and compliance needs. For more information on Quest CE, visit www.questce.com.
